Mark A. Adams
Professional summary
Mark Allen Adams SR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark Allen Adams SR, who also goes by Mark Allen Adams, was a registered financial advisor .
Mark is a previously registered financial advisor and started their career in finance in 1985. Mark had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2010 - December 31, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
December 12, 2008 - January 15, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
April 2, 2007 - December 16, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 2, 2005 - December 16, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 6, 2003 - June 22, 2005
OPPENHEIMER & CO. INC.
October 24, 2001 - January 10, 2003
ADVEST, INC.
August 5, 2000 - November 8, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 10, 1997 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
May 20, 1996 - September 9, 1997
LEGG MASON WOOD WALKER, INCORPORATED
August 25, 1994 - May 17, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 30, 1991 - August 9, 1994
MORGAN STANLEY DW INC.
May 25, 1988 - May 1, 1991
LEHMAN BROTHERS INC.
January 12, 1987 - June 21, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
June 2, 1986 - May 1, 1991
LEHMAN BROTHERS INC.
December 17, 1985 - June 5, 1986
WINSLOW INVESTMENT COMPANY
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
